How to File a Complaint with Amerity
Clients wishing to complain to Amerity may make their complaint to our head office by contacting any Amerity representative. All complaints are forwarded to qualified compliance or supervisory personnel to be handled. We encourage clients to make their complaint in writing or by email where possible. Where clients have difficulty putting their complaint in writing, they should advise us so that we can provide assistance. For confidentiality reasons, we will only deal with the client or another individual who has the client’s express written authorization to deal with us.
Complaint Handling Procedures
1. All client complaints will be acknowledged by Amerity within 5 business day of receipt.
2. All complaints will be reviewed fairly taking into account all relevant documents and statements obtained from the client, our records, our representatives, other staff members and any other relevant source.
3. Amerity will generally provide its response within ninety days, unless we are waiting for additional information from you, or the case is novel or very complicated. Our response will summarize the client complaint, our findings, and your options at the OBSI and the MFDA. Our response may be an offer to resolve your complaint, a denial of the complaint with reasons or another appropriate response.
4. Where the complaint relates to any of the following:
- • a breach of client confidentiality;
- • unsuitable investments or leveraging (except for non-clients);
- • theft, fraud, misappropriation, forgery, misrepresentation, unauthorized trading;
- • engaging in securities related business outside of the Member;
- • engaging in an undeclared occupation outside the Member;
- • personal financial dealings with a client, money laundering, market manipulation or insider trading.
Our initial response will include a copy of this summary and a copy of the MFDA Client Complaint Information Form (CCIF), which is set out in the following section.
Clients may contact us at any time to provide further information or to inquire as to the status of their complaint, by contacting the individual handling their complaint or by contacting the Compliance department at:
Mail: Amerity Wealth Management Inc.
3100 Steeles Avenue East, Suite 403, Markham ON L3R 8T3